Back Office Fundamentals for Wealth & Asset Management Programme Module 4: Operational Requirements under the SFO
The module will cover main regulatory requirements on key operations function of wealth and asset management and how to effectively and efficiently comply with those requirements.
To equip the participants with required knowledge and skills to enable them to work effectively in Back Office functions. The course is practical in nature as it will cover not only regulatory requirements but also some close to real life case studies.
1. Overview of back office functionality and MICs
2. Major Securities and Futures Rules
- Contract Notes, Statements of Account and Receipts Rules
- Financial Resources Rules
- Client Securities Rules
- Client Money Rules
- Accounts & Audit Rules
- Keeping of Records Rules
- Insurance Rules
3. Reporting of Non-Compliance
4. Licensing Requirements
5. Business Contingency Plan
6. Other Practical Operational Issues
7. Case Studies
This module is primarily targeted to those who would like to gain a solid understanding of and/or those who plan to enter into the operations function of the asset or wealth management industry sector.
先導計劃 - 專業培訓資助計劃
合資格之金融服務業現職從業員只要圓滿修畢本計劃所涵蓋課程 / 研討會 /會議 的一個單元，便可於本計劃的三年期內申請發還80%學費或上限7,000元(以數額較少者為準)。
申請人可申請多於一個課程 / 研討會 /會議的資助。
申請表必須於完成課程 / 研討會 /會議 當日起計４個月內連同所需文件一併送交香港證券及投資學會。詳情請參考先導計劃網站。